Aaron David Shapley
CIMA®Professional Summary
Aaron David Shapley, CIMA® is a registered financial advisor currently at FRANKLIN DISTRIBUTORS, LLC located in Stamford, Connecticut. Aaron is registered as a RR (Registered Representative) and started their career in finance in 1999. Aaron has worked at 10 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 51, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Credentials
Years of Experience
27 years in the financial services industry
Current & Past Employments
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Current Firm
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC
Contact Information
Main Address
One Franklin Parkway, San Mateo, CA 94403Mailing Address
1201 Wills Street, Baltimore, MD 21231Phone Number
(800) 632-2350Established
Delaware since 12/01/2000Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(1/19/2022)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
(7/7/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2002About the Series 9 examSRO Registrations
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Aaron David Shapley's CRS (Customer Relationship Summary).
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
RBC CAPITAL MARKETS, LLC
